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Summary: Certified financial planners, including those working at broker-dealers, would have to adhere to a fiduciary standard at all times under new rules proposed by the organization that grants the designation.
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Summary: [SLIDESHOW] For an RIA, no business-to-business relationship is more important than the one the firm has with its custodian. The bedrock of trust clients place with their adviser is embedded in the services the custodian provides: protecting assets, servicing accounts and ensuring compliance with government regulations.
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Summary: Starting your own practice takes time, money … and some fraught decisions, according to seven advisers familiar with the experience.
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Summary: Dynasty Financial Partners won the account of yet another $1-billion-plus breakaway team but its first poach of the esteemed Goldman Sachs & Co. The New York-based firm landed the new team, DG Wealth Partners, which consists primarily David Darby, 43, a magna cum laude Brown University graduate who worked at Goldman Sachs Private Wealth Management for 21 years, most recently from its Palm Beach office.
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Summary: While the Department of Labor’s fiduciary rule takes effect next Friday, the Securities and Exchange Commission is asking the public for help shaping future regulations for the investment advice industry. The last time the agency issued such a request for information was in 2013, when it collected data and information related to the rules governing investment advisors and broker/dealers. A lot has changed since.
